MERJE are working with a leading Investments businesses who are looking for Compliance Monitoring Analysts to join their fast growing teams.
• Undertake compliance monitoring reviews in accordance with the compliance monitoring programme and methodology as required.
• Engage with the business to discuss findings and to ensure that views are balanced and accurate.
• Write timely and accurate reports that present testing results, articulate the rationale for findings, the risks posed, and the actions required to address those risks.
• Work with management to agree appropriate action plans to address the identified risks.
• Liaise with management to ensure timely resolution of action points.
• Make recommendations to the Compliance Monitoring Manager for improvements to the programme.
• Build a rapport with the business in all offices to include educating staff on regulatory changes and best practice.
• Apply relevant legislation and regulations to the compliance monitoring programme.
• Work closely with Compliance Advisory escalate relevant issues to them accordingly.
Develop and maintain detailed knowledge of the firm’s business and regulatory framework, including FCA, and any other relevant rules and regulations.
• Knowledge/experience of the Investment/Wealth Management industry.
• Familiarity with FCA systems and returns
• Good working knowledge of the FCA Handbook
• Experience of Compliance Policies and Manuals and their maintenance.